Full text of SFI INVESTMENTS, LLC's X-17A-5 filed 2022-12-05 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, O.C. 20549** | REPORTS<br>ANNUAL | | | |-------------------|--|--| | X-17A-5<br>FORM | | | | Ill<br>PART | | | | SEC FILE NUMBER | | |-------------------------------------------------------|--| | | | | Estimated average burden<br>hours per response:<br>12 | | | Expires: Oct. 31, 2023 | | | 0MB Number: 3235-0123 | | | 0MB APPROVAL | | | FACING PAGE | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------|--------------|----------------------------------------------------------------------------------------------|--|--| | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING __ 1 | 0<br>2<br>1<br>0<br>/0<br>1<br>/<br>2<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>_ | AND ENDING _ | 2<br>2<br>/3<br>0<br>/<br>2<br>0<br>0<br>9<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>_ | | | | | MM/DD/VY | | MM/DD/VY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | Capital<br>NAME oF FIRM : SFI | LLC<br>Group<br>, | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D<br>□ Security-based swap dealer | | Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | Avenue<br>Superior<br>1100 | 1700<br>Suite<br>East<br>, | | | | | | | (No. and Street) | | | | | | Cleveland | Ohio | | 44114 | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Dorsey<br>John | 216-455-9990 | | sdorsey@leaguepark.com | | | | (Name) | (Email Address)<br>(Area Code - Telephone Number) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Hackett<br>Schaefer<br>Clark<br>,<br>, | Company<br>& | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | | Suite<br>Fourth<br>St<br>East<br>1<br>., | Cincinnati<br>1200 | Ohio | 45202 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/22/2003 | 539 | | | | | | (Date of Registration with PCAOB)(if aoolicable) | | | (PCAOB Registration Number, if applicable…Read the full text as markdown